Welcome to our dedicated page for Prudential Financial SEC filings (Ticker: PFH), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The SEC filings page for Prudential Financial, Inc. 4.125% Junior Subordinated Notes due 2060 (PFH) provides access to regulatory documents filed by the issuer, Prudential Financial, Inc., that are relevant to understanding this junior subordinated debt security. While PFH is a specific series of 4.125% junior subordinated notes due 2060, the primary information about the security and its context appears within the issuer’s broader SEC reporting.
Prudential Financial, Inc. files current reports on Form 8-K to disclose material events. Recent 8-K filings reference various junior subordinated notes, including a 4.125% junior subordinated notes member, alongside other series and the company’s common stock. These filings also cover topics such as preliminary financial information for a quarter, assets under management of the PGIM segment, other related revenues of that segment, and alternative investment income of the General Account. Such disclosures help investors assess the financial environment in which the PFH notes exist.
Additional 8-K reports describe corporate governance and leadership developments, including the election of an independent director to the Board and the appointment of that director to the Audit and Finance Committees, as well as leadership changes connected to an internal reorganization. The company has also reported a Board authorization to repurchase a specified amount of its outstanding common stock during a defined future period. These filings, while not specific to PFH, inform investors about the issuer’s capital management and oversight.
On this page, users can review Prudential Financial, Inc.’s SEC filings that mention junior subordinated notes and other securities, and use AI-powered summaries to interpret the key points. This includes understanding how issuer-level financial results, capital actions, and governance disclosures may relate to the 4.125% junior subordinated notes due 2060 represented by the PFH symbol.
Prudential Financial, Inc. filed a current report describing an internal matter at its Japanese life insurance subsidiary. The filing notes that The Prudential Life Insurance Company, Ltd. (“Prudential of Japan”) issued a press release on January 16, 2026 reporting the findings of an internal investigation into incidents of misconduct involving current and former employees of Prudential of Japan.
The company directs readers to an English translation of this press release available in its online newsroom. The filing does not provide further detail on the investigation’s findings within this document but formally records that the communication has been made by the subsidiary.
Prudential Financial, Inc. is providing preliminary fourth-quarter 2025 metrics for its PGIM asset management segment and its General Account investments ahead of its full earnings release. As of December 31, 2025, assets under management in the PGIM segment were $1.47 trillion, highlighting the scale of its institutional and retail investment operations. For the same quarter, PGIM’s other related revenues, net of related expenses, were about $55 million on an adjusted operating income basis, reflecting incentive fees, transaction fees, and earnings from seed and co-investments and mortgage originations.
The company also notes that alternative investment income in the General Account portfolio, excluding the Closed Block Division and Funds Withheld portfolios, is estimated to be $5 million to $25 million below its near-term expectations for the quarter. All figures are preliminary, unaudited estimates prepared on a basis consistent with prior periods and may change once Prudential completes its financial closing procedures.
Prudential Financial Executive Vice President Caroline Feeney reported equity award activity in company stock. On January 12, 2026, 60,761 restricted stock units granted on 1/12/21 vested and converted into an equal number of shares of common stock at an exercise price of $0, reflecting previously awarded compensation rather than an open‑market purchase. On the same date, 29,859 shares were withheld at $117.74 per share to cover taxes, reducing the net shares she holds directly.
After these transactions, Feeney beneficially owned 53,518.53 shares of Prudential common stock directly, plus 8,809 shares held indirectly through a 401(k) plan. The 401(k) amount includes 86 shares acquired under The Prudential Employee Savings Plan between September 30, 2025 and December 31, 2025 under exemptions from Section 16.
Prudential Financial, Inc. is offering $77,658,000 of fixed-rate senior unsecured notes due December 15, 2030. The notes carry a 4.200% annual interest rate and are priced at 100.000% of principal, with net proceeds to the company of $76,687,275.00 after a 1.250% gross concession.
Interest will be paid semi-annually on June 15 and December 15, starting on June 15, 2026, with an initial interest payment amount of $19.72 per $1,000 note. The notes are non-callable and include a survivor’s option feature subject to limitations described in the prospectus supplement.
The offering period runs from December 15, 2025 through December 22, 2025, with a trade date of December 22, 2025 and settlement on December 26, 2025. The minimum denomination is $1,000. The Bank of New York acts as trustee, and Citibank, N.A. serves as paying agent, registrar and transfer agent.
Prudential Financial, Inc. reported a leadership change tied to an internal reorganization. The company announced that Caroline A. Feeney, Executive Vice President and Global Head of Retirement and Insurance, will be leaving as her position is being eliminated. She will continue in her current role until February 2, 2026 and is expected to remain employed for a short period afterward. Prudential is also providing a news release dated December 18, 2025 as an exhibit describing this leadership change.
Prudential Financial, Inc. is offering a tranche of InterNotes with an aggregate principal amount of $10,059,000. These senior unsecured notes carry a fixed interest rate of 4.800% per year, paid semi-annually on June 15 and December 15, beginning on June 15, 2026, and mature on December 15, 2035. The selling price is 100.000% of principal, with net proceeds of $9,877,938.00 after a 1.800% gross concession.
The notes are callable at 100.000% of principal on December 15, 2027 and on any interest payment date thereafter, plus accrued and unpaid interest if redeemed. They include a survivor’s option, subject to the limitations described in the related prospectus supplement. The Bank of New York will serve as trustee, and Citibank, N.A. will act as paying agent, registrar and transfer agent. InspereX LLC is the purchasing agent, with several major broker-dealers acting as selling agents.
Prudential Financial executive Mary K. Feeney reported stock option exercises and related share sales dated December 11, 2025. She exercised employee stock options for 397, 2,926, 2,117 and 1,222 shares of common stock at exercise prices of $99.76, $106.89, $110.45 and $107.28 per share, respectively, and sold 384, 2,874, 2,096 and 1,201 shares at $116.28 per share on the same day.
After these transactions, she directly owns 22,616 Prudential Financial shares and indirectly holds 8,723 shares through a 401(k) account. She also holds 80,340 restricted stock units and 86,980 target performance shares, with the final number of performance shares dependent on achievement of performance goals.
Prudential Financial Inc's chief executive officer reported acquiring 109 deferred compensation share units linked to the company's common stock. The Form 4 shows this derivative security transaction dated 12/11/2025 at a price of $117.05, bringing the officer's directly owned deferred compensation share balance to 9,781 units.
The deferred compensation shares are based on unitized accounting, convert into common stock on a 1-to-1 basis, are deemed immediately exercisable, and are payable in cash on a date selected by the participant. Each deferred compensation share represents a right tied to one share of Prudential Financial common stock.
Prudential Financial reports that one of its directors received 20 restricted stock units tied to its common stock on December 11, 2025. Each restricted stock unit represents a contingent right to receive one share of Prudential Financial common stock.
The restricted stock units, described as 9/30/25 Restricted Stock Units, are scheduled to vest in one year on September 30, 2026 and have been deferred until the director retires from the board under the Prudential Financial, Inc. 2011 Deferred Compensation Plan for Non-Employee Directors. Following this grant, the director beneficially owns 1,755 derivative securities directly.
Prudential Financial Inc. director equity awards reported. A company director reported receiving derivative equity awards on 12/11/2025 under deferred compensation plans for non-employee directors.
The director acquired 146 notional shares - mandatory and 121 notional shares - optional, each representing deferred stock units tied to an equal number of shares of common stock, and 19 2025 restricted stock units. The mandatory units are settled in common stock at dates elected by the director under plan rules tied to retirement and age 70 1/2, while the optional units may be settled in common stock or cash after a deferral period. The restricted stock units represent a contingent right to receive Prudential Financial common stock or its economic equivalent, vest at the earlier of the next annual meeting or May 13, 2026, and have been deferred until retirement from the board.
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